September 2021- Appleton, WI
According to publicly available records Chad Michael Vandenbusch, a broker with Wintrust Investments, discloses customer dispute.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In August of 2020, a Wintrust Investment client filed FINRA case #20-02480 alleging that structured products and REITs sold were misrepresented as safer investments than conventional equities. The case settled for $40,000.
Vandenbush has been employed with Wintrust Investments since 2007. Before that he was with Wayne Hummer Investments and Stifel, Nicolaus & Company.
If you have questions about an investment account with Chad Vandenbusch, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900